RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
- F••••• I••••••••• independent RIA currentsince Nov 19, 2019 · Plano, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to Nov 19, 2019 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerMar 24, 2016 to Jan 8, 2018 · Addison, Tx
- E••••• J•••• national BDAug 25, 2014 to Feb 23, 2016 · Carrollton, Tx
- U••• I••••••••• S••••••• C•••••• to F••••• I•••••••••left Nov 19, 2019, registered Nov 19, 2019 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- E••••• J•••• to U••• F•••••••• P••••••• S•••••••left Feb 23, 2016, registered Mar 24, 2016 (30 days) · Other · moved with a team
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address